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ALEXANDER WARREN FRANKLIN
CRD#: 2834470
IA
Investment Adviser
B
Broker
AMERIPRISE FINANCIAL SERVICES, LLCCRD#: 6363 3027 TOWNSGATE RD
STE 200
WESTLAKE VILLAGE, CA 91361-5863
Registration History
1998200020022004200620082010201220142016201820202022202420262 FIRMS2009 - Present (15 years)BAMERIPRISE ADVISOR SERVICES, INC. (CRD# 5979)1997 - 2009 (12 years)BINTERFIRST CAPITAL CORPORATION (CRD# 7659)1997 - 1997 (<1 year)IAAMERIPRISE ADVISOR SERVICES, INC. (CRD# 5979)2003 - 2009 (6 years)IARSM MCGLADREY, INC. (CRD# 111221)2003 - 2003 (<1 year)
License(s)

State Registrations

B
Alabama 12/11/2013

B
New Hampshire 2/23/2023

B
Arizona 10/5/2009

B
New Jersey 12/14/2012

B
California 10/5/2009

B
New Mexico 10/14/2016

IA
California 10/5/2009

B
New York 12/21/2020

B
Colorado 5/9/2016

B
North Carolina 11/12/2019

B
Delaware 5/22/2015

B
Oklahoma 5/14/2024

IA
Delaware 10/3/2019

B
Oregon 7/13/2023

B
Florida 2/8/2013

B
Tennessee 6/27/2023

B
Hawaii 12/14/2012

B
Texas 10/5/2009

B
Idaho 12/14/2012

IA
Texas 2/20/2010

B
Illinois 12/14/2012

B
Utah 12/14/2012

B
Minnesota 3/18/2015

B
Virginia 12/14/2012

B
Montana 7/13/2021

B
Washington 12/14/2012

B
Nevada 10/5/2009

SRO Registrations

Not all jurisdictions require IAR registration or may have an exemption from registration.
Current Registration(s)
IA
AMERIPRISE FINANCIAL SERVICES, LLC (CRD#:6363)
3027 TOWNSGATE RD STE 200, WESTLAKE VILLAGE, CA 91361-5863
Woodland Hills, CA
Registered with this firm since 10/5/2009

B
AMERIPRISE FINANCIAL SERVICES, LLC (CRD#:6363)
3027 TOWNSGATE RD STE 200, WESTLAKE VILLAGE, CA 91361-5863
Woodland Hills, CA
Registered with this firm since 10/5/2009

Previous Registration(s)
th hidden textth hidden textNameLocation
IA
06/27/2003 - 10/05/2009 AMERIPRISE ADVISOR SERVICES, INC. (CRD#:5979) WOODLAND HILLS, CA
B
03/04/1997 - 10/05/2009 AMERIPRISE ADVISOR SERVICES, INC. (CRD#:5979) WOODLAND HILLS, CA
IA
03/06/2003 - 07/09/2003 RSM MCGLADREY, INC. (CRD#:111221) PASADENA, CA
B
01/13/1997 - 02/24/1997 INTERFIRST CAPITAL CORPORATION (CRD#:7659) LOS ANGELES, CA
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B
Broker
IA
Investment Adviser
Disclosures
Disclosures can be customer complaints or arbitrations, regulatory actions, employment terminations, bankruptcy filings and certain civil or criminal proceedings that they were a part of.